Filing Details
- Accession Number:
- 0000899243-21-042692
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-03 16:05:35
- Reporting Period:
- 2021-11-01
- Accepted Time:
- 2021-11-03 16:05:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1561627 | Exone Co | XONE | Printing Trades Machinery & Equipment (3555) | 261480640 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1569169 | Rick Lucas | 127 Industry Boulevard North Huntingdon PA 15642 | See Remarks | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 | Acquisiton | 2021-11-01 | 15,000 | $18.00 | 70,234 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Acquisiton | 2021-11-01 | 25,000 | $7.91 | 95,234 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2021-11-01 | 40,000 | $25.09 | 55,234 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2021-11-01 | 38,496 | $25.09 | 16,738 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2021-11-01 | 15,000 | $0.00 | 15,000 | $18.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-11-01 | 25,000 | $0.00 | 25,000 | $7.91 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-02-06 | No | 4 | M | Direct | |
| 0 | 2022-08-14 | No | 4 | M | Direct |
Footnotes
- The exercise of stock options awarded under The ExOne Company 2013 Equity Incentive Plan reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.0000 to $25.2800, inclusive. The reporting person undertakes to provide to The ExOne Company, any security holder of The ExOne Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3) and (4) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.0000 to $25.2800, inclusive.
- The option vested in three equal installments on February 6, 2014, 2015 and 2016.
- The option vested in two equal installments on August 14, 2017 and 2018.
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